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  2. 30 June 2015

    Southern Cross Benefits Limited Levy Waiver

    On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).
    Tags
    Waivers, Investor information, Business, Consumer
    Type
    PDF

  3. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.
    Tags
    Monitoring, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  7. 30 November 2016

    i-Select Superannuation Scheme Levy Waiver

    On 23 November 2016, the FMA granted a waiver of part of the FMA levy to i-Select Superannuation Scheme in respect of its Personal Plans funds. The Scheme is comprised of the Personal Plans, with i-Select Limited (i-Select) acting as the manager of the Scheme.
    Tags
    Investor information, KiwiSaver & Superannuation, Waivers, Business, Consumer
    Type
    PDF

  8. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  9. 13 November 2013

    Consultation licensing derivatives issuers

    Consultation: Draft minimum standards and licence conditions for derivative issuers.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  11. 6 November 2019

    Class legislative notice summary 2019

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  12. 8 September 2014

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

    In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  13. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.
    Tags
    Regulation updates, Derivative Issuer, Roles, Business
    Type
    PDF, Notice

  14. 30 November 2015

    KVB Kunlun New Zealand Limited Waiver Notice

    KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
    Tags
    Waivers, Business
    Type
    PDF

  15. 14 November 2018

    Bank Incentive Structures 2018

    Findings from an FMA review of incentive structures in the banking industry.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF